Trade Surveillance (MAR) -

Trade Surveillance (MAR)

04

May 2023

Improving Market Abuse Surveillance in CFD Providers: Key Insights from FCA’s Market Watch 73

The Financial Conduct Authority (FCA) recently conducted a peer review of firms offering Contracts for Difference (CFDs) and spread bets to enhance market abuse surveillance arrangements and uplift standards. The review gathered data from 9 carefully selected firms and yielded positive results,

Trade Surveillance (MAR)

04

Apr 2023

Market Abuse: A Reminder for Regulated Firms

What is Market Abuse? The EU Market Abuse Regulation states market abuse is “a concept that encompasses unlawful behaviour in the financial markets”. The practice involves individuals and firms using market-sensitive information and using the information to manipulate or gain an unfair

30

Aug 2021

Authorities continue imposing sanctions on Market Abuse

Following ESMA’s annual market abuse report for 2019 which shows that National Competent Authorities (NCAs) and other authorities imposed a total of €88 million related to 339 administrative and criminal actions under the Marker Abuse Regulation (MAR), the Cyprus Securities & Exchange

Best Execution Monitoring

25

Aug 2021

How Can We Maximise Regulatory Technology & Avoid Its Potential Pitfalls? What recent results from the European Banking Authority and ESMA reports show

The European Banking Authority (EBA) has recently published an analysis looking into the RegTech landscape in the EU. The report assesses the many benefits, challenges and risks of the use of RegTech in the EU and lays out the steps to be taken to support the sound adoption and scale-up of

Trade Surveillance (MAR)

25

Feb 2021

Will the EU bring spot FX contracts into the scope of the Market Abuse Regulation?

Foreign exchange (“FX”) trading activities constitutes one of the largest markets in the world, worth billions of euros every day. However, the FX market remains the least regulated and opaque of all financial markets, in which FX rates that influence the value of billions of Euros of assets

18

Feb 2021

FinTech presents extensive opportunities for firms in the future, Thomson Reuters survey shows

Can corporate governance and the culture of financial services firms keep up with the pace of growth of regulatory technology? During the past several years, regulators have invested heavily in technology to protect and monitor regulatory reporting data quality. The main challenges for

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